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RM

Richard W. Mcglaughlin

MCNALLY FINANCIAL SERVICES
Las Vegas, NV 89123-2545
Some features on this profile are disabled
CRD#: 2357332
RM

Professional summary

Richard Wesley Mcglaughlin, who also goes by Wes Mcglaughlin, is a registered financial advisor currently at MCNALLY FINANCIAL SERVICES CORPORATION located in Las Vegas, Nevada.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wes Mcglaughlin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Wesley Mcglaughlin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 2, 2012 - Present

MCNALLY FINANCIAL SERVICES CORPORATION

Office #1: 8275 S. Eastern Ave #200 Suite 200, Las Vegas, NV 89123-2545
RIA
BD
CRD#: 121196
Las Vegas, NV
Past

October 4, 2006 - April 3, 2012

LEGEND ADVISORY, LLC

RIA
CRD#: 104761
HENDERSON, NV
Past

March 23, 2006 - April 3, 2012

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
HENDERSON, NV
Past

March 10, 2000 - December 31, 2003

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
LAS VEGAS, NV
Past

June 1, 1999 - March 24, 2006

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LAS VEGAS, NV
Past

April 4, 1994 - May 11, 1999

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 11, 1993 - January 25, 1994

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Nevada
(4/2/2012)
RR
North Carolina
(4/2/2012)
RR
Washington
(7/27/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/7/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/5/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MCNALLY FINANCIAL SERVICES CORPORATION
MCNALLY FINANCIAL SERVICES CORPORATION

CRD#: 121196 / SEC#: , 8-65388

California
Registered Investment Advisory firm - SEC (11/9/2009 Approved)
Florida
Registered Investment Advisory firm - SEC (3/4/2016 Approved)
Nevada
Registered Investment Advisory firm - SEC (8/27/2014 Approved)
North Carolina
Registered Investment Advisory firm - SEC (10/10/2022 Approved)
Texas
Registered Investment Advisory firm - SEC (8/20/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
16414 San Pedro Suite 930, San Antonio, TX 78232-5185
Mailing Address
P.o. Box 701928, San Antonio, TX 78270-1928
Phone number
(210) 545-7080
Established
Texas since 04/11/2002
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
29

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MCNALLY, DAVID DORNCHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER839798

Regulatory assets under management

Total Number of Accounts142
AUM (Assets Under Management)$ 25,149,615

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MCNALLY FINANCIAL SERVICES CORPORATION

CRD#: 121196Las Vegas, NV 89123-2545

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